How the Practice is Structured
An independent practice should be transparent about the institutions standing behind it. This is how Tucker Private Client is structured, and what that means for you, the client.
Overview
Advisory Services
Independent Wealth Network
Advisory services are offered through Independent Wealth Network, an SEC registered investment adviser. Operating through an established registered investment adviser means the practice sits inside a compliance and supervisory framework rather than outside one: advertising is reviewed, recommendations are supervised, and the firm is subject to regulatory examination.
You can review the firm’s Form ADV, which describes its services, fees, and any disciplinary history, through the SEC’s public database at adviserinfo.sec.gov. I would encourage you to look up any advisor you are considering, including me.
Asset Custody
Schwab Advisor Services
Client assets are held at an independent third-party custodian, Charles Schwab, not by Tucker Private Client and not by me. This is a very important structural protection in an advisory relationship, and it is worth understanding plainly: I can advise on and manage accounts held in your name, but I do not hold your money.
You receive statements directly from the custodian, independent of anything I send you, so you always have an outside record of what you own.
